Costing Asset Protection: An All-Hazards Guide for Transportation Agencies (CAPTA) (2009) / Chapter Skim
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CAPTA Final Report P A R T I
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Several risk management guides were prepared independently and were aimed at either state transportation agencies that own or operate specific assets, or at specific asset classes within the transportation system. They included guides to assess risk and vulnerability for highway assets, ferries, tunnels, and bridges.
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Reasonable ranges of consequences are provided to guide the user in each of the following four consequence areas: • Potentially exposed population • Property loss 8 CAPTA Final Report
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• Mission disruption • Social/cultural disruption The CAPTA methodology, as implemented in a spreadsheet (CAPTool) , contains examples and default values to assist the user in choosing consequence thresholds, identifying existing means for avoiding adverse consequences, choosing countermeasures that fill gaps in coverage, winnowing those choices through a cost analysis, and then packaging them for implementation.
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10 CAPTA Final Report
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Historical data also allow a reasonable understanding of the potential consequences to transportation assets and activities. Because the frequency and severity of natural events is, for the most part, uncontrollable, risk management strategies involve • Design decisions that avoid such events or endure their effects (including where facilities are located)
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The CAPTA guide and tool recognize other guidance that covers the range of routine hazards or threats to transportation infrastructure and assets, such as equipment breakdowns, derailments, utility disruptions, criminal acts, and medical emergencies. The experience of transportation operators in handling these minor incidents is already addressed in handbooks, manuals, and industry standards that are readily available.
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• The user has available basic data about the assets to be considered under CAPTA, including physical features, cost, and typical usage of an asset. The information requested in the CAPTA Tool, or CAPTool, was specifically designed to incorporate data known to be readily available to transportation agencies.
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In keeping with the above approach, CAPTA uses consequence thresholds (for life, property, and mission) to focus risk management only on asset and hazard or threat combinations that merit risk reduction investment at the program planning level.
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What is most important about these relationships is that risk management decisions must be coordinated across multiple agencies and jurisdictions if they are to result in the efficient use of the limited resources available at federal, state, regional, and local levels of government. The data model developed to support the CAPTA is the integrating mechanism among multiple modes and the variety of assets, hazards, and threats associated with these modes.
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16 C H A P T E R 2 CAPTA Development Path
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That effort was the first to help transportation agencies prioritize critical and vulnerable assets, focusing exclusively on highway assets and primarily on vulnerabilities to intentional attacks on highway-related infrastructure. During consultation, the NCHRP project panel and the project team agreed to simplify the approach and focus more on the consequences of an event rather than the cause of the event.
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18 CAPTA Final Report Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA) Surface Transportation Security, Volume 6: Guide for Emergency Transportation Operations (NCHRP Report 525 Volume 6)
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Risk Management Methodology Six step methodology implemented using Microsoft Excel® spreadsheet to capture inputs and display intermediate outputs User Inputs Asset Classes of Interest Threats/Hazards of Concern Consequence Thresholds Asset Attributes within Classes Countermeasure Selection Candidate Countermeasure Configurations List of selected countermeasures that will reduce risks to asset classes of interest against threats/hazards of concern to avoid exceeding specified consequence threshold Description of selected countermeasures including rough order of magnitude costs and selected functional characteristics Potential Countermeasures Consolidated User Inputs Countermeasure attributes Candidate Countermeasures User Inputs Figure 5. CAPTA data model environment.
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Thresholds represent the point at which either the potential casualties, property loss, mission disruption, economic disruption, and/or public reaction is such that the responsible agency must consider allocating resources above and beyond those typically included in operating budgets to prevent or mitigate the effects of the hazard or postulated threat. CAPTA consolidates consequences along four key areas: • Potentially Exposed Population (fatalities and injuries)
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The selection of a certain threshold for potentially exposed population, property loss, or mission disruption does not explicitly suggest that losses below this level are unimportant or inconsequential. Threshold consequences should be chosen in relation to resources available to the agency to respond to the threat or hazard, replace or repair damaged or destroyed property, or complete the mission of moving people and goods to and from destinations.
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Force majeure events such as earthquakes, hurricanes, and terrorist acts are at the less frequent but more complex end of this spectrum and result in mass casualties, significant property loss, and broad-based economic disruption. This last category also represents a special danger due to the infrequency of such events and a lack of institutional memory concerning how to handle them.
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Emerging technologies that increase the safety and security of the individual vehicle continue to evolve. Assets and asset classes are aggregated into eight major asset categories: road bridges, road tunnels, transit/rail bridges, transit/rail tunnels, transit/rail stations, administrative and support facilities, ferries, and fleets.
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Many unintentional hazards impact the safety of the below-grade transportation asset, employees, and passengers. An intentional threat is one emanating from the deliberate intent of a person or group to disrupt the transportation asset.
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Chemical/biological/radiological agents Intentional Criminal acts Fire Power loss Equipment breakdown Structural failure Unintentional Hazardous Material Flood Earthquake Extreme weather Natural Mud/Landslide Table 3. Hazards or threats to transportation assets across multiple modes.
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As an example, if the transportation operator has prepared for an attack on the control center, then the operator is in the best position to withstand an attack on both the control center and on another transportation asset. There are eleven major category groupings for hazards or threats in the CAPTA methodology.
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A fire controlled by firefighting may still result in smoke and water damage at a level sufficient to render a transportation asset unfit for use or occupancy. Structural Failure Structure failure refers to any decrease in the physical integrity of the transportation asset to bear the weight required to carry passengers or freight.
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Inconsistencies and lapses in the design, construction, and maintenance of an asset may collude to create the conditions for a sudden structural failure. Hazardous Materials Hazardous materials (HAZMAT)
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The distinct differentiation between potentially exposed populations (PEP) , property, and mission is highlighted within the equation box.
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Ferries operated by a state agency are not commonplace. They provide substantial contribution in Alaska, Washington, and selected communities, but do not form the backbone of service in a majority of states.
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To attempt to predict a threat requires an intelligence-gathering infrastructure, or access to intelligence agencies that may possess information relevant to transportation assets. Unintentional hazards generally are not predictable, but rather are spontaneous and random.
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32 CAPTA Final Report
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The ability of a measure to have another positive effect upon the asset, or asset class, is noted. A common example is CCTV, which may be used to monitor traffic, detect intrusion, and provide information to responders.
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The function also includes the ability to communicate both to an organization the accurate prediction of an event that may disrupt the plan and to the asset to prepare an operational defense. Deterrence This function applies mainly to intentional threats.
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This summary can be saved to a hard drive, or printed for reference. The results summaries provide a snapshot of multimodal risk, consequence thresholds, and chosen measures to mitigate the exceeding of those thresholds.
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The CAPTA system, when applied properly, is capable of providing an effective capital budgeting tool to a transportation executive. The ability of the user to move quickly through the CAPTA system, and repeat the process using different consequence thresholds, yields a list of high-consequence assets meriting further attention.
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TCRP Report 86/NCHRP Report 525: Transportation Security, Volume 12: Making Transportation Tunnels Safe and Secure. Transportation Research Board of the National Academies, Washington, DC, 2006.
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project was funded through the Transportation Research Board's National Cooperative Highway Research Program (NCHRP)
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The consultant team desires to make the tool as easy to use as possible, and encourages advice from agency practitioners. Overview The CAPTA field test is consultant led, with inputs from the state agency.
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125000 2750 10 2 Steel Interstate Bridge X 203680 14429 8 58 Steel Interstate Bridge Y 173000 9049 6 58 Steel Interstate Bridge Z 174878 1289 8 14 Concrete Broad St 104000 131 6 0 Concrete Mayfair 104000 3520 2 13 Steel Cianci 180000 2245 2 1 Other $1,000,000,000 Table A-1. Data detail to be collected by state agency.
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• Visitor Control & Escort • Public Information and Dissemination • Locks • Chemical Detector Data Transmission Following the assembly of the requested data in a Microsoft® Excel–compatible format, it may be transmitted to the consultant for entry prior to the field test. State Agency Participation During the Field Test Significant Hazards/Threats Likely to be Experienced by the State Agency The user will be asked to designate which hazards and threats are of concern to the agency.
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Consequence Thresholds The state agency user will be asked to designate initial levels or "thresholds" where significant investments beyond normal capital budgets and operating and maintenance would be justified in order to reduce the likelihood of the event or mitigate the consequence. These consequence thresholds require judgments in the following areas: • Potentially Exposed Population: Threshold for the potential number of persons adversely affected by a hazard or threat.
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Countermeasure Intentions Table A-6 lists the decision points the user will need to address before proceeding through the countermeasure section. They are provided here as a reference and to encourage thought and discussion by the state agency prior to the CAPTA field test.
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Potentially Exposed Population 100 PEP Threshold Property Damage $100,000,000 Replacement Cost TRANSIT/RAIL BRIDGE/TUNNEL Mission Importance Yes Does at least 25% of the working population utilize rail/transit transportation? Potentially Exposed Population 100 PEP Threshold BUILDING Property Damage $100,000,000 Replacement Cost Potentially Exposed Population 100 PEP Threshold FERRY BOATS Property Damage $100,000,000 Replacement Cost Potentially Exposed Population 100 PEP Threshold TRANSIT FLEETS Property Damage $100,000,000 Replacement Cost Table A-5.
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Costing Asset Protection: An All Hazards Guide for Transportation Agencies (CAPTA) Test Preparation 45 0 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100 0 100,000 200,000 300,000 400,000 500,000 600,000 700,000 800,000 900,000 1,000,000 ADT*
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The information gleaned from the field test will be assessed by the consultant for possible inclusion into the final data model to be presented to the NCHRP 20-59(17) panel.
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As designed, CAPTA winnowed the data fields via user-selected consequence thresholds. The summary report listed assets and asset classes that were likely to be of value to the agency.
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Accept 9 Add asset category for "Operations Control Centers" to move them apart from plain office buildings. Accept 10 Clarify the definition of mission importance as importance to agency or to state.
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As designed, CAPTA winnowed the data fields via user-selected consequence thresholds. The summary report listed assets and asset classes that were likely to be of value to the agency.
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50 CAPTA Final Report No. Comment Description Current Status 1 Is there value in including the 75 th , 85th, and 95th traffic percentiles on road traffic threshold model?
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, and ferry boats. This range of asset classes and individual assets were selected primarily to demonstrate how the CAPTA methodology works and to discover any problems with either the fundamental approach of the methodology or the functioning of the CAPTool Microsoft® Excel spreadsheet model used to implement the methodology rather than to identify critical assets for VDOT and potential countermeasures for VDOT.
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Summary Result The VDOT pilot test confirmed the usefulness of the CAPTA methodology and CAPTool, the related computer-based spreadsheet. The pilot test provided an opportunity to discover several errors in the spreadsheet model as well as several enhancements that will improve the performance of the spreadsheet model, the user interface, and the presentation of the results.
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AASHTO -- American Association of State Highway and Transportation Officials ADT -- Average Daily Traffic APTA -- American Public Transportation Association AREMA -- American Railway Engineering and Maintenance Association ASCE -- American Society of Civil Engineers AUA -- American Underground Construction Association CAPTA -- Costing Asset Protection: An All Hazards Guide for Transportation Agencies CAPTool -- Costing Asset Protection Tool CCTV -- closed circuit television DHS -- Department of Homeland Security DOT -- Department of Transportation (state) HAZMAT -- hazardous material IAEM -- International Association of Emergency Managers NCHRP -- National Cooperative Highway Research Program NFPA -- National Fire Protection Association NIMS -- National Incident Management System PEP -- Potentially Exposed Population TCRP -- Transit Cooperative Research Program U.S.DOT -- United States Department of Transportation 53 A P P E N D I X E List of Acronyms
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Consequence Threshold -- The planning factor used to set the level of consequences at which the decision maker or agency assumes greater responsibility for managing the risk. Consequence Categories Potentially Exposed Population (fatalities and injuries)
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agents -- Gases, liquids, or solids introduced with the intent of causing physical harm or property loss. Criminal Acts -- Lower intensity threats representing the range of illegal activities as defined by federal code, state statute, or local ordinance.
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A fire controlled by firefighting may still result in smoke and water damage at a level sufficient to render a transportation asset unfit for use or occupancy. Structural Failure -- Any decrease in the physical integrity of the transportation asset to bear the weight required to carry passengers or freight.
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Planning Guidelines for Transportation Agencies. Transportation Research Board of the National Academies, Washington, D.C., 2005.
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United States Department of Transportation, Federal Highway Administration • Office of Operations, Information on Emergency Transportation Operations (ETO)
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